SEC regulations

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The regulator is on high alert as more than 10% of new launches last year targeted a theme.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.